Section 97(1)

Subsection (2) applies if it appears to the FCA that there are circumstances suggesting that— there may have been a contravention of— a provision of this Part or of Part 6 rules, ... or any other provision of qualifying transparency legislation, ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . a person who was at the material time a director of a person mentioned in section 91(1), ... ... or section 91(1B) (ignoring paragraph (a)(i) of that provision), has been knowingly concerned in a contravention by that person of— a provision of this Part or of Part 6 rules, ... or any other provision of qualifying transparency legislation, ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . a person who was at the material time a relevant officer of a person mentioned in section 91(1B) (ignoring paragraphs (a)(ii) and (b) of that provision) has been knowingly concerned in a contravention by that person of qualifying transparency legislation; . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Source: legislation.gov.uk · retrieved 2026-09-04